The SEC is studying the existing standards of care for broker-dealers offering personalized investment advice to retail investors. Comments have been flowing into the SEC identifying a number of the issues that would be raised by the imposition of a fiduciary duty standard on broker-dealers. By early 2011, the SEC will have completed its study and may have proposed new rules for broker-dealers.
Topics Will Include:
ALI-ABA's cost for this program is $199.
ALI-ABA will provide CLE credit.